Senior Compliance Officer

About Prestige Development Group (PDG)

Prestige Development Group (PDG) specializes in providing innovative human capital management solutions tailored to meet the needs of both private and public sector organizations. We are a certified SBA HUBZone and Economically Disadvantaged Woman-Owned Small Business dedicated to fostering diversity, inclusion, and operational excellence.

About the role

We are seeking a Senior Compliance Officer to join its Compliance Advisory function in New York. The firm is built on a culture of curiosity, entrepreneurial spirit, and human connection, and operates with a focus on practical, commercially-aware advice across a global platform.

Responsibilities

• Provide day-to-day regulatory and policy advice to business lines, including a 15a-6 broker-dealer, specialist lending desks, and global affiliates, with a focus on equity markets.
• Advise on U.S. securities regulations, including SEC and FINRA rules, and broker-dealer obligations, including requirements applicable to 15a-6 cross-border activities.
• Act as a trusted advisor to senior stakeholders, delivering timely and practical guidance on complex and time-sensitive matters.
• Oversee client onboarding and AML/KYC processes, including due diligence and documentation.
• Oversee record-keeping obligations relating to business lines, supervision, and employee oversight.
• Support the registration and licensing function.
• Assist with oversight of the firm's AML program.
• Oversee personal account dealing and other regulated activities of employees.
• Assist with internal and external audits, ensuring readiness and remediation of findings.
• Identify, assess, and prioritise regulatory and compliance risks across covered business lines.
• Update compliance policies, procedures, and controls aligned to U.S. regulatory requirements and global parent-company standards.
• Support new business initiatives, transactions, and product approvals from a compliance perspective.
• Provide guidance on market conduct, conflicts clearance, and information barrier requirements.
• Coordinate compliance issue tracking, escalation, and remediation with appropriate governance and documentation.
• Deliver management reporting on compliance risks, themes, and emerging regulatory developments.
• Support the firm's management with regulatory inquiries, examinations, and responses.
• Maintain awareness of evolving regulatory expectations and industry practices.
• Assist with developing and delivering targeted compliance training to business stakeholders.
• Draft and maintain policies and procedures consistent with U.S. regulatory requirements and global standards.
• Promote a strong culture of compliance and conduct across the organisation.
• Partner with Legal, Compliance Advisory, Control Room, Surveillance, IT, Operations, Research, and third-party compliance vendors.
• Collaborate with global compliance colleagues to ensure consistency in approach and handling of cross-border matters.
• Provide leadership, oversight, and mentorship to the Compliance Associate.
• Manage and develop junior team resources as part of the broader remit.

Requirements

• FINRA Series 14 licence required; eligibility to obtain FINRA Series 24 is a plus.
• Master's degree in Compliance, Risk Management, Business, or a related field preferred with 7+ years of relevant experience, or a Bachelor's degree with 10+ years of relevant experience.
• Professional certifications such as FINRA licences, CRCM, CAMS, or equivalent are strongly preferred.
• Significant experience in Compliance Advisory, Legal, or Regulatory roles within FINRA-regulated broker-dealers.
• Demonstrated knowledge of U.S. securities regulations, FINRA rules, and the 15a-6 broker-dealer framework and cross-border rules.
• Experience supporting complex transactions, new business activity, and regulatory risk assessments in a global financial institution.

Skills

• Strong technical knowledge of securities regulation, broker-dealer compliance, information barriers, and conflicts management across multi-jurisdictional contexts.
• Ability to analyse complex scenarios and provide clear, risk-based guidance in time-sensitive, high-stakes situations.
• Strong prioritisation and multitasking skills in a fast-paced environment.
• Credibility with business stakeholders and senior leaders, with a commercially-aware mindset.
• Clear written and verbal communication, including policy drafting and executive reporting.
• Collaborative, solutions-oriented approach across global teams.
• Integrity, professionalism, independence, accountability, and strong attention to detail.
• Adaptability and resilience in a dynamic regulatory and business environment.